|
|
(State or other jurisdiction of
incorporation or organization) |
(IRS Employer
Identification No.) |
Title of Each Class
|
Trading Symbol(s)
|
Name of Each Exchange on Which Registered
|
|
|
The
|
Large accelerated filer
|
☐
|
Accelerated filer
|
☐
|
|
☒
|
Smaller reporting company
|
|
Emerging growth company
|
|
None.
|
●
|
amend Part III, Items 10, 11, 12, 13 and 14 of the 2021 Annual Report to include the information required by such items;
|
●
|
delete the reference on the cover of the 2021 Annual Report to the incorporation by reference of portions of our proxy statement into Part III of the 2021 Annual Report; and
|
●
|
file new certifications of our principal executive officer and principal financial officer as exhibits to this Amendment under Item 15 of Part IV hereof, pursuant to Rule 12b-15 under the Securities Exchange Act of 1934.
|
PART III
|
4 | |
|
Item 10 Directors, Executive Officers and Corporate Governance
|
4
|
|
Item 11 Executive Compensation
|
9
|
|
Item 12 Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
|
16
|
|
Item 13 Certain Relationships and Related Transactions, and Director Independence
|
19
|
|
Item 14 Principal Accounting Fees and Services
|
20
|
PART IV
|
22
|
|
|
Item 15 Exhibits and Financial Statement Schedules
|
22
|
Item 10.
|
Directors, Executive Officers, and Corporate Governance
|
Name
|
Age
|
Title
|
||
Executive Officers
|
||||
Vincent J. Angotti
|
54
|
Director and Chief Executive Officer
|
||
Raffi Asadorian
|
52
|
Chief Financial Officer
|
||
Pamela P. Palmer, M.D., Ph.D.
|
59
|
Director, Chief Medical Officer and Co-Founder
|
||
Badri Dasu
|
59
|
Chief Engineering Officer
|
||
Directors
|
||||
Adrian Adams (2)(3)
|
71
|
Chairman and Director
|
||
Richard Afable, M.D. (2)
|
68
|
Director
|
||
Marina Bozilenko
|
56
|
Director
|
||
Jill Broadfoot (1)
|
60
|
Director
|
||
Stephen J. Hoffman, M.D. Ph.D. (1)(3)
|
68
|
Director
|
||
Howard B. Rosen (1)
|
64
|
Director
|
||
Mark Wan (2)(3)
|
56
|
Director
|
(1)
|
Member of the Audit Committee
|
(2)
|
Member of the Compensation Committee
|
(3)
|
Member of the Nominating and Corporate Governance Committee
|
Item 11.
|
Executive Compensation
|
●
|
Vincent J. Angotti, Chief Executive Officer
|
●
|
Raffi Asadorian, Chief Financial Officer
|
●
|
Pamela P. Palmer, M.D., Ph.D., Chief Medical Officer and Co-Founder
|
Name and Principal Position
|
Year
|
Salary
|
Stock
Awards(1) |
Option
Awards(2) |
Non-Equity
Incentive Plan Compensation(3) |
All Other
Compensation(4) |
Total
|
|||||||||||||||||||
Vincent J. Angotti
|
2021
|
$ | 636,540 | $ | 376,000 | $ | 1,156,667 | $ | 267,347 | $ | 11,400 | $ | 2,447,954 | |||||||||||||
Chief Executive Officer
|
2020
|
636,540 | 344,000 | 489,049 | 284,533 | 11,400 | 1,765,522 | |||||||||||||||||||
Raffi Asadorian
|
2021
|
460,616 | 129,250 | 272,262 | 151,082 | 11,400 | 1,024,610 | |||||||||||||||||||
Chief Financial Officer
|
2020
|
442,900 | 118,250 | 168,111 | 150,055 | 11,400 | 890,716 | |||||||||||||||||||
Pamela P. Palmer, M.D., Ph.D.
|
2021
|
511,124 | 129,250 | 272,262 | 159,471 | 11,400 | 1,083,507 | |||||||||||||||||||
Chief Medical Officer
|
2020
|
496,236 | 118,250 | 168,111 | 168,125 | 11,400 | 962,122 |
(1)
|
The dollar amounts in this column represent the aggregate grant date fair value of the RSUs granted during the year, as computed in accordance with ASC 718, not including any estimates of forfeitures. For a discussion of valuation assumptions, see Notes 1 and 14 to our consolidated financial statements included in our 2021 Annual Report. These amounts do not necessarily correspond to the actual economic value that may be received by the named executive officers.
|
(2)
|
The dollar amounts in this column represent the aggregate grant date fair value of all option awards granted during the indicated year. These amounts have been calculated in accordance with ASC 718, using the Black-Scholes option-pricing model and excluding the effect of estimated forfeitures. For a discussion of valuation assumptions, see Notes 1 and 14 to our consolidated financial statements included in our 2021 Annual Report. These amounts do not necessarily correspond to the actual value that may be recognized from the option awards by the named executive officers.
|
(3)
|
The dollar amounts in 2021 reflect the incentive bonuses awarded to the named executive officers under our 2021 Cash Bonus Plan and which were paid in the first quarter of 2022.
|
(4)
|
Reflects matching contributions made by us under our 401(k) Plan on behalf of each named executive officer.
|
Option Awards(1)
|
Stock Awards(2)
|
|||||||||||||||||||||
Name
|
Vesting
Commencement Date |
Number of
Securities
Underlying
Unexercised
Options (#)
Exercisable
|
Number of
Securities
Underlying
Unexercised
Options (#)
Unexercisable
|
Option
Exercise
Price
|
Option
Expiration
Date
|
Number of
Shares or
Units of Stock
That Have
Not Vested (#)
|
Market Value
of Shares or Units
of Stock That Have Not Vested
|
|||||||||||||||
Vincent J. Angotti
|
3/3/2021
|
200,000 | $ | 112,040 | ||||||||||||||||||
3/3/2021
|
1,000,000 | $ | 1.88 |
3/3/2031
|
||||||||||||||||||
2/6/2020
|
133,340 | 74,698 | ||||||||||||||||||||
2/6/2020
|
183,333 | 216,667 | 1.72 |
2/6/2030
|
||||||||||||||||||
2/11/2019
|
66,680 | 37,354 | ||||||||||||||||||||
2/11/2019
|
283,333 | 116,667 | 2.51 |
2/11/2029
|
||||||||||||||||||
1/22/2018
|
342,708 | 7,292 | 2.00 |
1/22/2028
|
||||||||||||||||||
800,000 | 3.30 |
3/6/2027
|
||||||||||||||||||||
192,500 | 2.23 |
4/9/2028
|
||||||||||||||||||||
Raffi Asadorian
|
3/3/2021
|
68,750 | 38,514 | |||||||||||||||||||
3/3/2021
|
137,500 | 1.88 |
3/3/2031
|
|||||||||||||||||||
3/3/2021
|
68,750 | 1.88 |
3/3/2031
|
|||||||||||||||||||
2/6/2020
|
45,836 | 25,677 | ||||||||||||||||||||
2/6/2020
|
63,020 | 74,480 | 1.72 |
2/6/2030
|
||||||||||||||||||
2/11/2019
|
22,922 | 12,841 | ||||||||||||||||||||
2/11/2019
|
97,395 | 40,105 | 2.51 |
2/11/2029
|
||||||||||||||||||
1/22/2018
|
144,427 | 3,073 | 2.00 |
1/22/2028
|
||||||||||||||||||
220,000 | 3.00 |
8/16/2027
|
||||||||||||||||||||
81,125 | 2.23 |
4/9/2028
|
||||||||||||||||||||
Pamela P. Palmer, M.D., Ph.D.
|
3/3/2021
|
68,750 | 38,514 | |||||||||||||||||||
3/3/2021
|
137,500 | 1.88 |
3/3/2031
|
|||||||||||||||||||
3/3/2021
|
68,750 | 1.88 |
3/3/2031
|
|||||||||||||||||||
2/6/2020
|
45,836 | 25,677 | ||||||||||||||||||||
2/6/2020
|
63,020 | 74,480 | 1.72 |
2/6/2030
|
||||||||||||||||||
2/11/2019
|
22,922 | 12,841 | ||||||||||||||||||||
2/11/2019
|
97,395 | 40,105 | 2.51 |
2/11/2029
|
||||||||||||||||||
1/22/2018
|
169,395 | 3,605 | 2.00 |
1/22/2028
|
||||||||||||||||||
132,500 | 3.00 |
2/7/2027
|
||||||||||||||||||||
110,500 | 3.40 |
2/10/2026
|
||||||||||||||||||||
95,150 | 2.23 |
4/9/2028
|
||||||||||||||||||||
110,000 | 6.60 |
12/2/2024
|
||||||||||||||||||||
100,000 | 10.34 |
2/4/2024
|
||||||||||||||||||||
388,137 | 5.31 |
2/5/2023
|
||||||||||||||||||||
231,911 | 3.39 |
2/7/2022
|
(1)
|
With the exception of the performance-based stock options granted on April 9, 2018, and the share price performance-based vesting options granted on March 3, 2021, all stock options vest over 4 years, with 25% of the shares vesting on the one-year anniversary of the vesting commencement date, and 1/48th of the shares vesting monthly thereafter, subject to continuous service. Vesting commencement dates are included for stock options that were not fully vested as of December 31, 2021. The performance-based stock options granted to our named executive officers on April 9, 2018 were exercisable as follows: 50% of the stock option award became vested and exercisable upon our achievement of commercial approval by the FDA of our NDA for DSUVIA on or before February 15, 2019, which FDA approval was received on November 2, 2018; and the remaining 50% of the award vested on the one-year anniversary of the date of such FDA approval, or November 2, 2019, subject to continuous service. The share price performance options are eligible to vest subject to the satisfaction of the service-based vesting requirements specified below and attainment of share price target goals. For the performance option to become eligible to vest, the share price goals must be attained during the performance period commencing on the date of grant of the performance option and ending on December 31, 2024, or the Performance Period, as follows: $4.00 (33% of the award); $5.00 (33% of the award); and $6.00 (34% of the award). In order to satisfy a price target goal during the Performance Period, our average closing stock price must equal or exceed the applicable target level as measured over a period of thirty consecutive trading days within the Performance Period. Upon certification by the Compensation Committee that a performance price target goal is satisfied, the number of performance options eligible to vest based upon attainment of the price target will be earned and will vest on the one-year anniversary of such certification date, so long as the person remains in continuous service through such applicable vesting date.
|
(2)
|
The RSUs granted to our named executive officers vest in three equal consecutive annual installments on the first three anniversaries of the vesting commencement date.
|
●
|
a lump sum cash severance payment in an amount equal to twelve months of his then-current base salary, plus 100% of his target annual bonus for the year of termination;
|
●
|
reimbursement of COBRA premiums for up to twelve months; and
|
●
|
twelve months’ worth of accelerated vesting of his equity awards, and (iv) extended exercisability of vested options for up to twelve months following his termination date. In addition, if Mr. Angotti experiences an involuntary termination within three months prior to or eighteen months following a change in control of AcelRx, then his severance benefits will be increased as follows: (w) the lump sum cash severance payment will instead be an amount equal to twenty-four months of his then-current base salary, plus 200% of his target annual bonus; (x) he will be entitled to payment of any bonus earned but not yet paid for the prior year; (y) the COBRA premium reimbursement period will be for up to twenty-four months; and (z) 100% of all then-unvested equity awards will accelerate as of his termination date. In order to receive any severance benefits, Mr. Angotti must sign a waiver and release of claims in favor of AcelRx.
|
Severance
Benefit |
C-level officers *
|
VP, SVP or EVP
|
Base Salary:
|
12 months
|
6 months
|
Target Bonus:
|
100% of target bonus opportunity
|
Greater of 50% of target bonus opportunity, or a prorated amount of target bonus opportunity through termination date
|
Reimbursement of COBRA Premiums:
|
Up to 12 months
|
Up to 6 months
|
Vesting Acceleration:
|
100% vesting and exercisability of all outstanding unvested equity awards subject to time-based vesting
|
Same as for C-level executive officers
|
Extended exercisability of stock options:
|
Until 6 months after termination date (or earlier expiration date of the award)
|
Same as for C-level executive officers
|
●
|
the Board Chair receives an additional annual retainer of $30,000;
|
●
|
the Audit Committee Chair receives an additional annual retainer of $20,000;
|
●
|
the FAST Committee Chair receives an additional annual retainer of $20,000 (effective April 1, 2021);
|
●
|
the Compensation Committee Chair receives an additional annual retainer of $15,000;
|
●
|
the Nominating and Corporate Governance Committee Chair receives an additional annual retainer of $10,000;
|
●
|
an Audit Committee member receives an additional annual retainer of $10,000;
|
●
|
a FAST Committee member receives an additional annual retainer of $10,000 (effective April 1, 2021);
|
●
|
a Compensation Committee member receives an additional annual retainer of $7,500; and
|
●
|
a Nominating and Corporate Governance Committee member receives an additional retainer of $5,000.
|
Name
|
Fees Earned or
Paid in Cash |
Stock Awards
(1)(3) |
Option
Awards (2)(3)
|
Total
|
||||||||||||
Adrian Adams
|
$ | 97,500 | $ | 14,100 | $ | 21,058 | $ | 132,658 | ||||||||
Richard Afable, M.D.
|
55,000 | 14,100 | 21,058 | 90,158 | ||||||||||||
Marina Bozilenko
|
37,500 | 38,250 | 56,715 | 132,465 | ||||||||||||
Jill Broadfoot
|
4,166 | 10,800 | 15,961 | 30,927 | ||||||||||||
Mark G. Edwards
|
60,000 | 14,100 | 21,058 | 95,158 | ||||||||||||
Stephen J. Hoffman, M.D., Ph.D.
|
55,000 | 14,100 | 21,058 | 90,158 | ||||||||||||
Howard B. Rosen
|
50,000 | 14,100 | 21,058 | 85,158 | ||||||||||||
Mark Wan
|
65,000 | 14,100 | 21,058 | 100,158 |
(1)
|
The dollar amount in this column represents the grant date fair value of the RSUs granted to our non-employee directors during 2021, as computed in accordance with ASC Topic 718, not including any estimates of forfeitures. For a discussion of valuation assumptions, see Note 1 to our financial statements and the discussion under “Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations—Critical Accounting Estimates—Stock-Based Compensation” included in our 2021 Annual Report. This amount does not correspond to the actual economic value that may be received from the RSUs. As of December 31, 2021, our non-employee directors had the following outstanding RSUs: Mr. Adams – 10,000; Dr. Afable – 10,000; Ms. Bozilenko – 25,000; Ms. Broadfoot – 15,000; Mr. Edwards – 10,000; Dr. Hoffman – 10,000; Mr. Rosen – 10,000; and Mr. Wan – 10,000.
|
(2)
|
The dollar amount in this column represents the grant date fair value of the stock options granted to our non-employee directors during 2021. This amount has been calculated in accordance with ASC 718 using the Black-Scholes option-pricing model and excluding the effect of estimated forfeitures. For a discussion of valuation assumptions, see Notes 1 and 14 to our financial statements included in our Annual Report on Form 10-K filed with the SEC on March 10, 2022. This amount does not necessarily correspond to the actual economic value that may be recognized from the options. As of December 31, 2021, our non-employee directors had the following number of outstanding options: Mr. Adams – 147,500; Dr. Afable – 132,500; Ms. Bozilenko – 50,000; Ms. Broadfoot – 30,000; Mr. Edwards – 135,625; Dr. Hoffman – 145,000; Mr. Rosen – 1,521,000; and Mr. Wan – 145,000.
|
(3)
|
On June 17, 2021, the date of our 2021 annual meeting of stockholders, each non-employee director was granted 10,000 RSUs and an option to purchase 20,000 shares of our common stock with an exercise price of $1.41 per share. The shares subject to these stock options and RSUs vest on the first anniversary of the date of grant.
|
Item 12.
|
Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
|
●
|
all those known by us to be beneficial owners of more than 5% of our common stock;
|
●
|
each director;
|
●
|
each named executive officer; and
|
●
|
all of our current executive officers and directors as a group.
|
Beneficial Ownership(1)
|
||||||||
Name of Beneficial Owner
|
Number of Shares
|
% of Total
|
||||||
Stockholders Owning Greater than 5%:
|
||||||||
Armistice Capital, LLC(2)
|
12,314,479 | 8.4 | % | |||||
Directors and Named Executive Officers:
|
||||||||
Adrian Adams(3)
|
313,750 | * | ||||||
Richard Afable, M.D. (4)
|
124,750 | * | ||||||
Vincent J. Angotti(5)
|
2,272,999 | 1.5 | ||||||
Marina Bozilenko(6)
|
16,664 | * | ||||||
Jill Broadfoot
|
— | * | ||||||
Mark G. Edwards(7)
|
376,875 | * | ||||||
Stephen J. Hoffman, M.D., Ph.D.(8)
|
136,250 | * | ||||||
Pamela P. Palmer, M.D., Ph.D.(9)
|
1,926,455 | 1.3 | ||||||
Howard B. Rosen(10)
|
1,569,750 | 1.1 | ||||||
Mark Wan(11)
|
136,250 | * | ||||||
Raffi Asadorian(12)
|
855,737 | * | ||||||
All executive officers and directors as a group (12 persons)(13)
|
8,638,302 | 5.6 | % |
*
|
Less than 1%.
|
(1)
|
This table is based upon information supplied by officers, directors and principal stockholders. Unless otherwise indicated in the footnotes to this table and subject to community property laws where applicable, we believe that each of the stockholders named in this table has sole voting and investment power with respect to the shares indicated as beneficially owned. Applicable percentages are based on 147,109,007 shares outstanding on March 31, 2022, adjusted as required by rules promulgated by the SEC. The number of shares beneficially owned includes shares of common stock issuable pursuant to the exercise of stock options that are exercisable within 60 days of March 31, 2022. Shares issuable pursuant to the exercise of stock options that are exercisable stock options and restricted stock units vesting within 60 days of March 31, 2022, are deemed to be outstanding and beneficially owned by the person to whom such shares are issuable for the purpose of computing the percentage ownership of that person, but they are not treated as outstanding for the purpose of computing the percentage ownership of any other person.
|
(2)
|
Based on information disclosed in a Schedule 13G filed with the SEC on February 15, 2022, by Armistice Capital, LLC (“Armistice Capital”) reporting ownership as of December 31, 2021. Includes 12,314,479 shares reported as beneficially owned by Armistice Capital, of which Armistice Capital reports sole voting power and sole dispositive power with respect to zero shares, and shared voting power and shared dispositive power with respect to 12,314,479 shares, and 12,314,479 shares reported as beneficially owned by Steven Boyd (“Mr. Boyd”), of which Mr. Boyd reports sole voting power and sole dispositive power with respect to zero shares, and shared voting power and shared dispositive power with respect to 12,314,479 shares. Armistice Capital is the investment manager of Armistice Capital Master Fund Ltd. (the “Master Fund”), the direct holder of the reported shares, and pursuant to an Investment Management Agreement, Armistice Capital exercises voting and investment power over these shares held by the Master Fund and thus may be deemed to beneficially own these shares held by the Master Fund. Mr. Boyd, as the managing member of Armistice Capital, may be deemed to beneficially own these shares held by the Master Fund. The Master Fund specifically disclaims beneficial ownership of these shares directly held by it by virtue of its inability to vote or dispose of such securities as a result of its Investment Management Agreement with Armistice Capital. Despite such shared beneficial ownership, the reporting persons disclaim that they constitute a statutory group within the meaning of Rule 13d-5(b)(1) of the Securities Exchange Act of 1934. The address for Armistice Capital and Mr. Boyd is 510 Madison Avenue, 7th Floor, New York, New York 10022.
|
(3)
|
Includes 127,500 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(4)
|
Includes 112,500 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(5)
|
Includes 1,892,500 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(6)
|
Includes 11,665 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(7)
|
Includes 115,625 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022. Mr. Edwards resigned from the Board effective March 31, 2022.
|
(8)
|
Includes 125,000 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(9)
|
Includes 1,338,452 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(10)
|
Includes 1,501,000 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(11)
|
Includes 125,000 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(12)
|
Includes 677,790 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
(13)
|
Includes 6,782,764 shares issuable pursuant to stock options exercisable within 60 days of March 31, 2022.
|
Plan Category
|
Number of securities
to be
issued upon exercise of outstanding options, warrants and rights(1) (A)
|
Weighted-average
exercise
price of outstanding options,
warrants and rights(2) (B)
|
Number of securities
remaining available for
future issuance under
equity compensation
plans (excluding
securities reflected in
column A)(3)
(C)
|
|||||||||
Equity compensation plans approved by security holders
|
16,058,426 | $ | 2.99 | 12,315,297 | ||||||||
Equity compensation plans not approved by security holders
|
— | — | — | |||||||||
Total
|
16,058,426 | $ | 2.99 | 12,315,297 |
(1)
|
Consists of the: (i) 2011 Equity Incentive Plan, as amended, (ii) Amended and Restated 2020 Equity Incentive Plan, and (iii) Amended and Restated 2011 Employee Stock Purchase Plan, or the ESPP. A description of these plans is contained in Note 13 to our consolidated financial statements included in the 2021 Annual Report. The number of securities includes: (i) 14,284,050 options with a weighted-average remaining life of 5.8 years and (ii) 1,774,376 shares of common stock to be issued following the vesting of RSUs for which no exercise price will be paid. Under the ESPP, participants are permitted to purchase our common stock at a discount on certain dates through payroll deductions within a pre-determined purchase period. Accordingly, the number of shares to be issued upon exercise of outstanding rights under the ESPP as of December 31, 2021 is not determinable.
|
(2)
|
The calculation of weighted average exercise price includes only outstanding stock options.
|
(3)
|
As of December 31, 2021, (i) 7,858,933 shares of common stock were available for issuance under the 2020 Equity Incentive Plan, and (ii) 4,456,364 shares of common stock were available for issuance under the ESPP. On February 28, 2022, 153,435 shares were purchased under the ESPP and as of April 20, 2022, up to a maximum of 190,000 shares may be purchased in the current purchase period under the terms of the ESPP, based on estimated participation and contribution rates, purchase prices based on the applicable offering date prices and the $25,000 limit under Section 423(b)(8) of the Internal Revenue Code.
|
Item 13.
|
Certain Relationships and Related Transactions and Director Independence
|
Item 14.
|
Principal Accounting Fees and Services
|
Year Ended December 31
|
||||||||
2021
|
2020
|
|||||||
Audit Fees(1)
|
$ | 87,075 | $ | 609,155 | ||||
Audit-Related Fees
|
— | — | ||||||
Tax Fees
|
— | — | ||||||
All Other Fees
|
— | — | ||||||
Total Fees
|
$ | 87,075 | $ | 609,155 |
(1)
|
Audit Fees: Consists of fees for professional services rendered for the audit of our consolidated financial statements for the year ended December 31, 2020 and review of our condensed consolidated financial statements for the first interim period of 2021. Fees also consist of review of interim financial statements and fees for assistance with registration statements filed with the SEC, comfort letters and services that are normally provided in connection with statutory and regulatory filings or engagements for 2021 and 2020.
|
Year Ended December 31
|
||||||||
2021
|
2020
|
|||||||
Audit Fees(1)
|
$ | 508,000 | — | |||||
Audit-Related Fees
|
— | — | ||||||
Tax Fees
|
— | — | ||||||
All Other Fees
|
— | — | ||||||
Total Fees
|
$ | 508,000 | — |
(1)
|
Audit Fees: Consists of fees for professional services rendered for the audit of our consolidated financial statements, review of interim consolidated financial statements and fees for assistance with registration statements filed with the SEC, comfort letters and services that are normally provided by Withum in connection with statutory and regulatory filings or engagements for 2021.
|
Item 15.
|
Exhibits and Financial Statement Schedules
|
Incorporation By Reference
|
||||||||||
Exhibit
Number |
Exhibit Description
|
Form
|
SEC
File No. |
Exhibit
|
Filing Date
|
|||||
2.1§
|
10-Q
|
001-35068
|
2.1
|
11/15/2021
|
||||||
3.1
|
8-K
|
001-35068
|
3.1
|
2/18/2011
|
||||||
3.2
|
8-K
|
001-35068
|
3.1
|
6/25/2019
|
||||||
3.3
|
S-1
|
333-170594
|
3.4
|
1/7/2011
|
||||||
4.1
|
10-K
|
001-35068
|
4.1
|
3/15/2021
|
||||||
4.2
|
Reference is made to Exhibits 3.1 through 3.3.
|
|||||||||
4.3
|
S-1
|
333-170594
|
4.2
|
1/31/2011
|
||||||
4.4
|
8-K
|
001-35068
|
4.1
|
6/3/2019
|
||||||
4.5
|
8-K
|
001-35068
|
4.1
|
11/15/2021
|
||||||
10.1+
|
S-1
|
333-170594
|
10.1
|
1/7/2011
|
||||||
10.2+
|
S-8
|
333-172409
|
99.3
|
2/24/2011
|
Incorporation By Reference
|
||||||||||
Exhibit
Number |
Exhibit Description
|
Form
|
SEC
File No. |
Exhibit
|
Filing Date
|
|||||
10.3+
|
10-K
|
001-35068
|
10.5
|
3/30/2011
|
||||||
10.4+
|
10-K
|
001-35068
|
10.6
|
3/30/2011
|
||||||
10.5+
|
8-K
|
001-350683
|
10.1
|
6/17/2021
|
||||||
10.6+
|
S-8
|
333-239213
|
99.2
|
6/16/2020
|
||||||
10.7+
|
S-8
|
333-239213
|
99.3
|
6/16/2020
|
||||||
10.8+
|
S-8
|
333-239213
|
99.4
|
6/16/2020
|
||||||
10.9+
|
S-1
|
333-170594
|
10.15
|
1/7/2011
|
||||||
10.10+
|
S-1
|
333-170594
|
10.16
|
1/7/2011
|
||||||
10.11+
|
10-Q
|
001-35068
|
10.4
|
5/8/2017
|
||||||
10.12+
|
8-K
|
001-35068
|
10.1
|
7/19/2017
|
||||||
10.13+
|
||||||||||
10.14+
|
8-K
|
001-35068
|
10.2
|
2/9/2017
|
||||||
10.15§
|
10-Q
|
001-35068
|
10.3
|
5/17/2021
|
||||||
10.16§#
|
10-Q
|
001-35068
|
10.1
|
11/15/2021
|
Incorporation By Reference
|
||||||||||
Exhibit
Number |
Exhibit Description
|
Form
|
SEC
File No. |
Exhibit
|
Filing Date
|
|||||
10.17§#
|
10-Q
|
001-35068
|
10.2
|
11/15/2021
|
||||||
10.18
|
8-K
|
001-35068
|
10.1
|
1/12/2022
|
||||||
10.19§#
|
10-Q
|
001-35068
|
10.1
|
8/16/2021
|
||||||
10.20
|
10-Q
|
001-35068
|
10.1
|
5/8/2013
|
||||||
10.21
|
10-Q
|
001-35068
|
10.2
|
5/8/2013
|
||||||
10.22
|
10-Q
|
001-35068
|
10.4
|
5/8/2014
|
||||||
10.23#
|
10-Q
|
001-35068
|
10.6
|
5/2/2016
|
||||||
10.24#
|
10-Q
|
001-35068
|
10.1
|
11/9/2017
|
||||||
10.25#
|
10-Q
|
001-35068
|
10.6
|
11/3/2015
|
||||||
10.26#
|
10-Q
|
001-35068
|
10.7
|
11/3/2015
|
Incorporation By Reference
|
||||||||||
Exhibit
Number |
Exhibit Description
|
Form
|
SEC
File No. |
Exhibit
|
Filing Date
|
|||||
10.27
|
8-K
|
001-35068
|
10.1
|
6/21/2016
|
||||||
10.28
|
S-3
|
333-239156
|
1.3
|
6/12/2020
|
||||||
10.29
|
8-K
|
001-35068
|
10.1
|
6/3/2019
|
||||||
10.30
|
10-Q
|
001-35068
|
10.4
|
11/15/2021
|
||||||
10.31
|
10-K
|
001-35068
|
10.31
|
3/10/2022
|
||||||
10.32#
|
10-Q
|
001-35068
|
10.1
|
11/7/2019
|
||||||
10.33
|
10-Q
|
001-35068
|
10.2
|
11/7/2019
|
||||||
23.1
|
10-K
|
001-35068
|
23.1
|
3/10/2022
|
||||||
23.2
|
10-K
|
001-35068
|
23.2
|
3/10/2022
|
||||||
24.1
|
10-K
|
001-35068
|
24.1
|
3/10/2022
|
||||||
31.1^
|
||||||||||
31.2^
|
||||||||||
32.1
|
10-K
|
001-35068
|
32.1
|
3/10/2022
|
Incorporation By Reference
|
||||||||||
Exhibit
Number |
Exhibit Description
|
Form
|
SEC
File No. |
Exhibit
|
Filing Date
|
|||||
101.INS
|
XBRL Instance Document- the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
|
10-K
|
001-35068
|
101.INS
|
3/10/2022
|
|||||
101.SCH
|
Inline XBRL Taxonomy Schema Document
|
10-K
|
001-35068
|
101.SCH
|
3/10/2022
|
|||||
101.CAL
|
Inline XBRL Taxonomy Calculation Linkbase Document
|
10-K
|
001-35068
|
101.CAL
|
3/10/2022
|
|||||
101.DEF
|
Inline XBRL Taxonomy Definition Linkbase Document
|
10-K
|
001-35068
|
101.DEF
|
3/10/2022
|
|||||
101.LAB
|
Inline XBRL Taxonomy Label Linkbase Document
|
10-K
|
001-35068
|
101.LAB
|
3/10/2022
|
|||||
101.PRE
|
Inline XBRL Taxonomy Presentation Linkbase Document
|
10-K
|
001-35068
|
101.PRE
|
3/10/2022
|
|||||
104
|
Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101.INS, 101.SCH, 101.CAL, 101.DEF, 101.LAB, and 101.PRE).
|
10-K
|
001-35068
|
104
|
3/10/2022
|
^
|
Filed herewith.
|
§
|
Schedules omitted pursuant to Item 601(a)(5) of Regulation S-K. The Registrant agrees to furnish supplementally a copy of any omitted schedule upon request by the SEC.
|
+
|
Indicates management contract or compensatory plan.
|
#
|
Material in the exhibit marked with am “[*]” has been omitted because it is confidential, not material, and would be competitively harmful if publicly disclosed.
|
|
The certifications attached as Exhibit 32.1 accompany this Annual Report on Form 10-K pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, and shall not be deemed “filed” by the Registrant for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
|
Date: April 20, 2022
|
AcelRx Pharmaceuticals, Inc.
|
||
(Registrant) | |||
|
/s/ Vincent J. Angotti
|
||
Vincent J. Angotti
|
|||
Chief Executive Officer and Director | |||
(Principal Executive Officer) | |||
/s/ Raffi Asadorian | |||
Raffi Asadorian | |||
Chief Financial Officer | |||
(Principal Financial and Accounting Officer) |
Exhibit 31.1
CERTIFICATIONS
I, Vincent J. Angotti, certify that:
1. I have reviewed this Amendment No. 1 to Annual Report on Form 10-K/A of AcelRx Pharmaceuticals, Inc.;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
Date: April 20, 2022
/s/ Vincent J. Angotti |
Vincent J. Angotti Chief Executive Officer (Principal Executive Officer) |
Exhibit 31.2
CERTIFICATIONS
I, Raffi Asadorian, certify that:
1. I have reviewed this Amendment No. 1 to Annual Report on Form 10-K/A of AcelRx Pharmaceuticals, Inc.;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
Date: April 20, 2022
/s/ Raffi Asadorian |
Raffi Asadorian Chief Financial Officer (Principal Financial Officer) |